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Arnold & Porter
On July 19, 2021, Alpine Securities Corporation, a penny stock broker, petitioned the US Supreme Court to decide whether the SEC has the authority to "enforce" provisions of the Bank Secrecy Act on broker-dealers, ...
Mayer Brown
Effective August 16, 2021, the Securities and Exchange Commission will apply new threshold amounts with respect to the definition of "qualified clients,"...
Gamma Law
While the gold rush might have peaked, public interest in non-fungible tokena (NFTs) continues to grow, and their popularity is increasing.
Duane Morris LLP
We are pleased to present the Duane Morris Quarterly Financial Regulatory Enforcement Report—our analysis of key regulatory developments, enforcement actions and criminal cases that shape the complex and constantly evolving financial regulatory environment.
Seyfarth Shaw LLP
Last Fall, we reported that the Securities Exchange Commission (SEC) was deliberately vague in its new requirement that publicly listed companies subject to the SEC's reporting requirements disclose a ...
Carter Ledyard & Milburn
Special Purpose Acquisition Companies are blank check companies with no operations that undergo an Initial Public Offering to raise capital with the intent of acquiring an operating company.
Mintz
Third, Chairman Gensler offered certain insight into the type of information that would be demanded by these mandatory climate disclosures.
Kelley Drye & Warren LLP
In April 2021, the Senate confirmed Gary Gensler, President Biden's nominee, as the new chair of the Securities and Exchange Commission ("SEC").
Cadwalader, Wickersham & Taft LLP
In remarks on a webinar sponsored by Principles for Responsible Investment, SEC Chair Gary Gensler reported that he directed SEC staff to develop a rule proposal on mandatory climate risk disclosure by the end of 2021.
Masuda, Funai, Eifert & Mitchell, Ltd.
A lot has been reported on Special Purpose Acquisition Companies ("SPAC") and their revived use to raise money through an initial public offering ("IPO").
Cooley LLP
In remarks yesterday on a webinar, "Climate and Global Financial Markets," from Principles for Responsible Investment, SEC Chair Gary Gensler offered us some clues about what to expect from the SEC's...
Akin Gump Strauss Hauer & Feld LLP
On June 21, 2021, the U.S. Supreme Court issued its opinion in Goldman Sachs Group, Inc. v. Arkansas Teacher Retirement System...
Mayer Brown
Today, Securities and Exchange Commission Chair Gary Gensler spoke at the "Climate and Global Financial Markets" webinar, hosted by the Principles for Responsible Investment (PRI), the UN-supported network of investors...
Shearman & Sterling LLP
According to the SAC, defendants made false and misleading statements about the Company's financial controls.
Shearman & Sterling LLP
According to plaintiffs' CFAC, the Company reports its revenue based on two sales channels—their wholesale channel and DTC channel.
Cadwalader, Wickersham & Taft LLP
Twenty-one investment advisers and six broker-dealers agreed to settle SEC charges for failing to file and deliver in a timely fashion their client or customer relationship summaries.
Cadwalader, Wickersham & Taft LLP
IOSCO is seeking feedback on proposed recommendations concerning environmental, social and governance ratings and data providers.
Cadwalader, Wickersham & Taft LLP
The SEC granted a substituted compliance determination for French-regulated security-based swap dealers.
Mayer Brown
On July 26, 2021, the International Organization of Securities Commissions (IOSCO) issued its Consultation Report on Environmental, Social and Governance (ESG) Ratings and Data Products Providers (Consultation Report)...
Jones Day
Almost daily there are reports of new environmental, social, and governance ("ESG") claims being brought against public companies with no end in sight.
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